One or more investors apparently complained about securities broker Pasquale Evangelista (also known as Pat Evangelista) [CRD: 2443782, Naples, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Pasquale Evangelista has worked for Raymond James Associates Inc. since March 19, 2010, serving both as a broker and investment adviser at their Naples, Florida branch. See the […]

It was announced that the Securities and Exchange Commission (SEC) issued a Wells notice to UBS regarding secondary market trading of closed-end funds sold in Puerto Rico in 2008 and 2009.  USB sold $2.9 billion in bonds in 2008. UBS was a former financial adviser to Puerto Rico's Employees Retirement System that provides pensions for […]